Procedures
The Office of Research and Sponsored Programs provides a guide to procedures for research administration. This area is currently under construction.
| A | Identification of Funding Opportunities |
|---|---|
| A01 (opens in a new window) | How to Use PIVOT |
| A02 (opens in a new window) | Internal Funding |
| A03 | Distribute Funding Opportunity Information |
| A04 (opens in a new window) | Sponsored Project Activity Types |
| A05 (opens in a new window) | Eligibility - Institutional and Principal Investigator |
| A06 | Gift vs. Sponsored Award |
| A07 | Limited Submissions |
| A08 | Confirm That Proposal Is In-Line with Departmental and Institutional Mission |
| A09 | Proposal Writing Schedule Checklist |
| A10 | Reserved |
| A11 | Departmental Research |
| B | Proposal Preparation and Submission |
|---|---|
| B01 (opens in a new window) | Intent to Submit |
| B02 (opens in a new window) | Pre-proposals |
| B03 (opens in a new window) | Guideline Interpretation |
| B04 | Technology Transfer |
| B05 (opens in a new window) | Budget Preparation |
| B05.01 (opens in a new window) | Budget - Salaries and Wages |
| B05.02 (opens in a new window) | Budget - Compensation - Fringe Benefits |
| B05.03 (opens in a new window) | Budget - Equipment and Other Capital Expenditures |
| B05.04 (opens in a new window) | Budget - Indirect Costs |
| B05.05 (opens in a new window) | Budget - Maintenance and Repair Costs |
| B05.06 (opens in a new window) | Budget - Materials and Supplies Costs, Including Costs of Computing Devices |
| B05.07 (opens in a new window) | Budget - Memberships, Subscriptions, and Professional Activity Costs |
| B05.08 (opens in a new window) | Budget - Participant Support Costs |
| B05.09 | Budget - Pre-award costs |
| B05.10 (opens in a new window) | Budget - Subrecipient Costs |
| B05.11 (opens in a new window) | Budget - Professional Service Costs |
| B05.12 | Budget - Scholarships and student aid costs |
| B05.13 | Budget - Specialized service facilities |
| B05.14 | Budget - Training and education costs |
| B05.15 | Budget - Transportation costs |
| B05.16 (opens in a new window) | Budget - Travel costs |
| B05.17 (opens in a new window) | Budget - Direct Charge Administrative and Clerical Costs |
| B05.18 | Budget - Human Subjects Payments |
| B05.19 (opens in a new window) | Budget - Student Compensation |
| B06 (opens in a new window) | Cost Sharing or Matching |
| B07 (opens in a new window) | Research Incentive (RI) Distribution |
| B08 | Space - Coordinate, assign and approve requests |
| B09 | Identify Research Compliance Issues (IRB, IACUC, COI, etc.) |
| B10 | Verify Research Compliance adherence |
| B11 | Fixed Price Agreements |
| B12 | Reserved |
| B13 | Reserved |
| B14 (opens in a new window) | Proposal Preparation |
| B14.01 | Proposal - Prepare technical proposal |
| B14.02 | Proposal - Secure Provost and/or VPFA signature on other attachments as specified in the proposal guidelines |
| B14.03 | Proposal - Proposal Submission Deadlines |
| B14.04 | Proposal - Technology Transfer |
| B14.05 | Proposal - Review proposal packet for completeness and accuracy prior to routing for internal approvals |
| B14.06 (opens in a new window) | Proposal - Proposal Review and Approval Routing |
| B14.07 (opens in a new window) | Proposal - Signature Authority |
| B15 | Reporting Other Support |
| C | Pre-Award/Post-Submission |
|---|---|
| C01 (opens in a new window) | Review and Negotiate Sponsored Agreements |
| C02 | Maintain proposal pending files and database |
| C03 (opens in a new window) | Departmental Guarantee Memorandum (DGM) |
| C04 (opens in a new window) | Prepare sponsor required just-in-time documents |
| D | Regulatory Environment |
|---|---|
| D01 (opens in a new window) | Human Subjects Research/IRB |
| D02 (opens in a new window) | Animal Subjects Research/IACUC |
| D03 (opens in a new window) | Conflict of Interest (COI) |
| D04 (opens in a new window) | Representations and Certifications |
| D05 (opens in a new window) | Biannual Compliance Notifications |
| D06 (opens in a new window) | Responsible Conduct of Research |
| D07 (opens in a new window) | CITI Training |
| D08 | Facility Security |
| D09 (opens in a new window) | ClinicalTrials.gov |
| D10 | Research Data Management, Sharing, and Security |
| D10.01 (opens in a new window) | Export Control |
| D10.02 (opens in a new window) | Controlled Unclassified Information (CUI) |
| D10.03 | Research Data Management Plan |
| D10.04 | Research Data Sharing Plans |
| D11 (opens in a new window) | Subaward Monitoring and Management |
| D12 | Suspension and Debarment |
| E | Award Negotiation, Acceptance, and Account Establishment |
|---|---|
| E01 (opens in a new window) | Award - Acceptance and Negotiation |
| E02 | Award - Special Terms and Conditions |
| E03 | Award - Agree to terms and conditions regarding performance clauses |
| E04 | Request PTA Account Setup |
| E05 | Establish PTA account in oracle |
| E06 | Award - Send copy of Award Letter (i.e. Notice of Award) to PI and appropriate unit support (e.g. Business Unit Manager or CFAO) from Leo |
| E07 | Research Incentive (RI) Distribution - New Account |
| E08 | Provide documentation of certifications of approvals to sponsors |
| E09 (opens in a new window) | Sponsored Project Agreement Types |
| E10 | Reserved |
| E11 | Approve and or negotiate exceptional contract terms and conditions outside of standard practice |
| E12 | Award - Budget revision and change of scope due to funding reduction from proposal to Award (document for cost share implications) |
| F | Audits |
|---|---|
| F01 | Internal Audit |
| F02 | External Audit |
| G | Managing the Award - Financial |
|---|---|
| G01 (opens in a new window) | Award Management |
| G02 (opens in a new window) | Service Agreements |
| G03 | Clinical & Translational Research Unit (CTRU) |
| H | Managing the Award - Non-Financial |
|---|---|
| H01 | Conduct the sponsored project and provide overall oversight on all research activities |
| H02 | Reconcile expenditures to budget/revenue monthly |
| H03 | Personnel - Assign research personnel for the project |
| H04 | Personnel - Hire research personnel |
| H05 (opens in a new window) | Progress/Technical Reports |
| H06 | Material Transfer Agreements (MTA) |
| H07 | Provide oversight on the implementation of University, state and federal policies and regulations |
| H08 (opens in a new window) | Project changes requiring prior approval and expanded authority from the sponsor |
| I | Financial Reporting |
|---|---|
| I01 | Provide information for and prepare financial reports |
| I02 | Review and analyze financial reports to external sponsors |
| I03 | Provide interim financial reports to the sponsor |
| J | Closing Out the Award |
|---|---|
| J01 | Cost Share - Document costs sharing funds as required |
| J02 (opens in a new window) | Investigator Separation |
| J03 | Equipment disposition and/or transfer |
| J04 | Transfer residuals from fixed-price agreements |
| J05 | Closeout Checklist |
| J06 | Reports - Notify PI of the need for completion of final technical report |
| J07 | Reports - Prepare and submit final technical report to sponsor |
| J08 | Reports - Prepare and submit financial report and final invoice as required to sponsor |
| J09 | Inactivate grant account |
| J10 | File appropriate closeout documentation |
| K | Administrative Transactions |
|---|---|
| K01 (opens in a new window) | Budget Revision |
| K02 | Key Personnel Changes |
| K03 | Research Incentive (RI) Distribution - Distribution Change |
| K04 (opens in a new window) | Organizational Code Change |
| K05 (opens in a new window) | No Cost Extension |
| K06 (opens in a new window) | Stop Work Order |